Whistleblower Program

A new legal settlement – fining Barclays Bank $15 million – recounts the extraordinary steps the firm’s CEO took to try to unmask two whistleblowers. ...

Even the commenters on the SEC’s proposed whistleblower rule revisions seek anonymity (IA Watch, July 5, 2018). Forty percent of the 102 comments the SEC ...

Among numerous proposed revisions to the SEC’s whistleblower rules – many of them technical tweaks – is one that clarifies that the agency wouldn’t offer ...

In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed (IA ...

The Securities and Exchange Commission (“Commission”) is proposing for public comment several amendments to the Commission’s rules implementing its whistleblower program. Section 21F of the ...

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...

The Supreme Court made it clear in February that whistleblower anti-retaliation protections extend to only those who bring their allegations to the SEC (IA Watch, ...

Whistleblowers, the U.S. Supreme Court ruled in February, deserve anti-retaliation protections under Dodd-Frank only when they bring their allegations to the SEC (IA Watch, Feb. ...

While the industry continues to digest the recent Supreme Court ruling that whistleblower anti-retaliation protections apply only when reporting to the SEC (IA Watch, Feb. ...